JOB DESCRIPTION:

TD Asset Management Inc. (TDAM) is a North American investment manager offering progressive investment solutions to investors globally. For over two decades, TDAM established competitive market positions in active, quantitative, enhanced, and alternatives portfolio management. TDAM offers a diverse range of over 120 investment solutions and manages retail mutual funds and ETFs in Canada for over 1.9 investors. TDAM provides its investment management services to institutional entities, and it offers its retail mutual funds and ETFs to Canadian retail investors through TD Canada Trust branches, TD Wealth affiliates, and other leading investment dealers, independent brokers, advisors, and financial planners.
The TDAM Regulatory & Policy Governance group, the TDAM 1B function within the three lines of defense governance model, provides oversight of controls and management of regulatory exposures for the TDAM business. With a comprehensive governance support mandate at TDAM, RPG is a group comprised of a wide array of subject matter experts and is an excellent place for risk/compliance professionals to deepen their knowledge of TDAM’s operations and the investment management business.

JOB DESCRIPTION:

The Associate, Regulatory & Policy Governance provides governance support to the TDAM business for non-securities regulations. The successful candidate serves as a subject matter expert to support TDAM in its adherence to the applicable regulatory and TD’s internal requirements in topics that include, accessibility, CASL, ESG, francization, complaints, and conduct risk. Other backup responsibilities may include other topics such as privacy, FATCA/CRS, registered products, and others, as assigned.

Reporting to the Vice President & Director, Regulatory & Policy Governance (Non-Securities Regulations), the successful candidate will:

• Provide governance, operational control and regulatory subject matter expertise and support for the non-securities regulatory activities of TDAM
• Act as the subject matter expert for the non-securities rules and regulations specific to the role;
• Serve as the primary point of contact for the non-securities rules and regulations, as well as facilitate the implementation of policies, procedures, and controls at TDAM by working with internal stakeholders;
• Support the Regulatory Compliance Management ("RCM") Program for non-securities regulatory activities in accordance with the RCM Standards on behalf of TDAM, including the maintenance of the regulatory library, control design and implementation, control mapping, monitoring and implementation of regulatory changes, identification and management of regulatory issues
• Help protect TDAM’s interests by keeping abreast of business trends, risks, and control management issues and by maintaining a high level of knowledge of existing and emerging risk issues
• Promote a culture of compliance and strong risk management that aligns with the TDAM business’ risk appetite;
• Maintain strong working relationships with internal business partners and stakeholders;
• Provide advice and guidance to TDAM stakeholders on governance and regulatory requirements including requirements for accessibility, CASL, ESG, francization, complaints, and conduct risk
• Develop and maintain policies and procedures supporting TDAM’s compliance with non-securities regulations
• Prioritize and facilitate the implementation of appropriate TD Bank and TD Wealth practices, and related enhancements
• Provide training on non-securities regulatory requirements to TDAM business as required
• Establish and maintain strong working relationships with control partners from the second line functions through regular interactions; and
• Provide support on other non-securities regulations topics, as appropriate.

QUALIFICATIONS/SKILLS/EXPERIENCE:

• 7+ years of relevant working experience
• Proven effective verbal and written communicator
• Ability to work in a collaborative setting, as well as independently under guidance
• Risk management and/or compliance experience from an asset management setting is preferred

SPECIFIC EDUCATIONAL REQUIREMENTS/ACCREDITATIONS

• University degree, preferably in business, finance, or law
• No i ndustry certifications and designations required but will be considered
  4 days in the office required

WHO WE ARE:

TD is one of the world’s leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you’ve got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we’re here to support you towards your goals. As an organization, we keep growing – and so will you.

Please refer the Job description for details